Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Watson (Watson), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Watson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000,000.00 on November 25, 2025.

Breach of Fiduciary Duty, Negligent Misrepresentation, Gross Negligence, and Unjust Enrichment

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lascala (Lascala), currently associated with Aegis Capital Corp., has at least one disclosable event. These events include one customer complaint, alleging that Lascala recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on December 03, 2025.

Time frame: November 2019. Claimants allege breach of fiduciary duty.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Widener (Widener), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Widener recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 01, 2025.

Client alleges their financial advisor executed trades in several accounts without authority.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shimshon Plotkin (Plotkin), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plotkin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on November 26, 2025.

Alleges investment was unsuitable

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Olinger (Olinger), previously associated with Valmark Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Olinger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000,000.00 on November 25, 2025.

Breach of Fiduciary Duty, Fraud, Civil Theft, Fraudulent Inducement, Gross Negligence, Negligent Misrepresentation, Unjust Enrichment, and Elder Financial Abuse

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mccallum (Mccallum), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccallum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $378,000.00 on November 25, 2025.

Customers allege recommended unsuitable investments in Medley Capital Corporation that between 2015 and 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randall Duggan (Duggan), currently associated with Berthel, Fisher & Company Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Duggan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $101,000.00 on December 11, 2025.

Suitability/negligence 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montalvo (Montalvo), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Montalvo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $189,500.00 on December 11, 2025.

Client alleged Financial Advisor took an undisclosed loan and failed to repay. Allegation Activity Date: 05/02/2024 – 12/11/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Hebner (Hebner), previously associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Hebner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $225,000.00 on December 11, 2025.

Suitability/negligence. 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Po (Po), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Po recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 08, 2025.

Breach of contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; violations of securities statutes; breach of fiduciary duty; vicarious liability; violation of Regulation Best Interest

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